Agenda

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Day 1 - Tuesday, November 23, 2021
8:45 |
Co-Chairs’ Opening Remarks |
9:00 |
What International Trends Indicate about Shifts in Regulatory Oversight and How Compliance Programs Should Prepare |
9:45 |
FCAC Q&AThe Financial Consumer Protection Framework and Complaints Handling Obligations |
10:30 |
Networking and Refreshment Break |
11:00 |
Canada’s Evolving Privacy Regime: How to Prepare for New Provisions and Avoid Costly Data Management Mistakes Along the Way |
12:00 |
Networking Lunch |
1:00 |
Client Focused Reforms in Practice: What Dealers Need to Know to Protect their Customers and Stay in Compliance |
2:00 |
Special Focus on Talent Retention and the Future of WorkIndustry Roundtable: Strategies for Supporting for Employees and the Business in a Post-COVID Business Landscape |
3:00 |
Networking Break |
3:30 |
FINTRAC TOWNHALLStatus Report on PCMLTFR: Identifying Where FRFIs are Missing the Mark and What to Expect in 2022 |
4:15 |
CDIC Act and By-laws: Zoning in on Upcoming Requirements and Key Initiatives |
5:00 |
Conference Adjourns |
Day 2 - Wednesday, November 24, 2021
Day 1 - Tuesday, November 23, 2021
8:45 |
Co-Chairs’ Opening Remarks![]() Sara Gelgor ![]() Lisa Cinelli ![]() Danielle Lin |
9:00 |
What International Trends Indicate about Shifts in Regulatory Oversight and How Compliance Programs Should Prepare![]() Lucie Tedesco ![]() Tiago Aguiar ![]() David Geale ![]() Colm Kincaid |
9:45 |
FCAC Q&AThe Financial Consumer Protection Framework and Complaints Handling Obligations![]() Frank Lofranco Moderator:![]() Danielle Lin
|
10:30 |
Networking and Refreshment Break |
11:00 |
Canada’s Evolving Privacy Regime: How to Prepare for New Provisions and Avoid Costly Data Management Mistakes Along the Way![]() Wendy Mee ![]() Sandeep Joshi
|
12:00 |
Networking Lunch |
1:00 |
Client Focused Reforms in Practice: What Dealers Need to Know to Protect their Customers and Stay in Compliance![]() Jacqueline Sanz ![]() Susan Silma ![]() Anthony Giglio Moderator:![]() Noémie C. Girard Investment firms and dealers are tasked with aligning their day-to-day operations with a new slate of client focused reforms, scheduled to be fully in effect by December 2021. This exclusive new panel will address:
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2:00 |
Special Focus on Talent Retention and the Future of WorkIndustry Roundtable: Strategies for Supporting for Employees and the Business in a Post-COVID Business Landscape![]() Douglas Johnson ![]() Lisa Cinelli ![]() Ilona Niemi Moderator:![]() Sashya D’Souza
|
3:00 |
Networking Break |
3:30 |
FINTRAC TOWNHALLStatus Report on PCMLTFR: Identifying Where FRFIs are Missing the Mark and What to Expect in 2022![]() Nathalie Martineau Many of the requirements under the PCMLTFR have come into force making it a critical time to check in with the regulator. This townhall session will provide the opportunity to get your questions answered. Gain clarity on where the regulator is exercising flexibility, learn where policies and procedures are falling short of expectations and best practices to rectify deficiencies and avoid penalties for non-compliance.
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4:15 |
CDIC Act and By-laws: Zoning in on Upcoming Requirements and Key Initiatives![]() Emiel van der Velden
|
5:00 |
Conference Adjourns |
Day 2 - Wednesday, November 24, 2021
8:50 |
Co-Chairs Opening Remarks![]() Sara Gelgor ![]() Lisa Cinelli ![]() Danielle Lin |
9:00 |
Culture and Conduct Risk - Part IOSFI: How Financial Institutions Should Approach the Relationship between Culture and Risk to Establish Stronger Compliance![]() Anie Stuart
|
9:30 |
Culture and Conduct Risk - Part IIMeasuring Culture: How to Set the Right Metrics and Start Translating them into Actionable Insights for your Compliance Program![]() Laura Houlihan ![]() Amy Aubin
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10:15 |
Networking Break |
10:45 |
SPOTLIGHT ON THE INTERSECTION BETWEEN ESG AND REGULATORY COMPLIANCEExamining How Regulatory Compliance and Conduct Can Shape your ESG Strategy and Disclosure![]() Sara Gelgor ![]() Sarah Keyes ![]() Angela Shaffer
|
11:45 |
Payments Compliance and Innovation: Unpacking the New Regulatory Regime for Payments Providers Under the Retail Payments Activities Act![]() Tracy Molino ![]() Rodney Shields ![]() Ryan Yates ![]() Ron Morrow ![]() Edgar Barbosa Moderator:![]() Lydia Sas
|
12:45 |
Networking Lunch |
1:45 |
Fireside Chat on Corporate Governance and EthicsHow Corporate Boards Can Achieve Better Alignment with Stakeholders![]() Tomell deSilva Ceasar Moderator:![]() Sara Gelgor |
2:15 |
Focus on RCMHow to Keep your Compliance Team Ahead of the Curve: Strategic Approaches for Classifying Risk and Navigating the Evolving Regulatory Landscape![]() David Parkatti Keeping up with the evolving regulatory landscape is a complex and onerous task. There are a growing number of compliance frameworks that must be applied to mitigate risks and build operational resilience. This session will provide practical industry insights on how to effectively classify risks, manage regulatory obligations and smooth out operations. |
3:00 |
Networking Break |
3:30 |
Hot TopicFinTech, Open Banking and the Regulatory Sandbox: How Technology is Driving Real-Time Regulation Globally and the Implications for Financial Institutions![]() Stephen Cheeseman ![]() Don Johnston ![]() Kathleen Butterfield ![]() Paula Pereira ![]() Mark Hines This session will provide an in-depth examination of the obstacles and opportunities tied to the development of open banking in Canada and the economic factors that working for and against the initiative’s realization. Explore how financial institutions and the financial regulatory system will need to evolve to support this transformation from both a technological and compliance lens.
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4:30 |
Virtual Currency: Top Takeaways from the Most Notable Regulatory and Enforcement Trends of 2021![]() Lori Stein ![]() Usman Sheikh
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5:15 |
Conference Adjourns |